SEA 1934 Rule 21F-17(a) – Global Relay Intelligence & Practice

SEA 1934 Rule 21F-17(a)

Enforcement

Violations of Whistleblower Protection Rule land RIA in hot water

September 30, 2024

GQG Partners crafted contractual language preventing disclosure of potential securities law violations by prospective and former employees.

Alexander Barzacanos2 min read
Reporting

JPMorgan to pay $18m for whistleblower protection rule violations

January 17, 2024

Firm said to have asked hundreds of clients to sign release preventing them from disclosing rulebreaking.

Julie DiMauro2 min read